John Paul
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Paul was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2012 - September 29, 2015
ALLIED MILLENNIAL PARTNERS, LLC
May 6, 2010 - November 7, 2012
NATIONAL SECURITIES CORPORATION
March 25, 2010 - May 5, 2010
AEGIS CAPITAL CORP.
January 16, 2007 - March 30, 2010
GUNNALLEN FINANCIAL, INC
October 25, 2004 - January 17, 2007
S.W. BACH & COMPANY
October 9, 2003 - November 10, 2004
JOSEPH STEVENS & CO., INC.
November 20, 2002 - October 10, 2003
LADENBURG THALMANN & CO. INC.
December 7, 2000 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
January 24, 2000 - December 6, 2000
WEATHERLY SECURITIES CORPORATION
June 25, 1999 - November 10, 1999
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALLIED MILLENNIAL PARTNERS, LLC
CRD#: 16569 / SEC#: , 8-34176
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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